Sr Analyst, Regulatory Program Management

TIAA • Frisco, TX

2d • $67,700 - $95,100 • Onsite

About The Position

The Senior Analyst, Regulatory Program Management evaluates the reliability and effectiveness of internal controls across the company. As a subject matter expert in regulatory requirements, this role ensures adherence to regulatory standards and proper oversight of broker-dealer activities. It contributes to establishing operating routines and procedures that enable sound supervisory practices.

The role contributes to creating and maintaining processes that ensure regulatory compliance, designs and executes testing of regulatory processes and controls, and presents findings and recommendations to management and appropriate business partners. It also oversees cross-functional implementation of broker-dealer programs, analyzes regulatory risks in operational areas, reviews documentation of business processes, risks and controls through ongoing engagement, evaluates existing policies and procedures for gaps and opportunities, and communicates policy and process updates to relevant team members and business units.

Requirements

• At least 3 years of financial services experience.
• Series 7 and Series 24 must be completed within 120 days of the start date.
• University degree preferred.

Nice To Haves

• At least 7 years of financial services experience.
• Tenured experience researching and resolving issues.
• Prior experience testing and monitoring procedures.
• Proactive and willing to learn.
• Flexible and a team player.

Responsibilities

• Contribute to creating and maintaining processes that ensure adherence to regulatory requirements.
• Design and execute testing of regulatory processes and controls.
• Present findings and applicable recommendations to management and appropriate business partners.
• Oversee cross-functional implementation of broker-dealer programs, including analysis of regulatory risks in operational areas.
• Review documentation of business processes, risks and controls through business-as-usual engagement and ongoing partnerships.
• Evaluate existing organizational policies and procedures to identify gaps and opportunities.
• Communicate new or revised policies, procedures, processes and related documents to appropriate team members and business units.

Benefits

• Superior retirement program.
• Competitive health, wellness and work-life offerings.
• Compensation may include participation in an incentive program linked to performance, depending on the role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level